Roger Stern is a registered investment advisor at Morgan Stanley, based in Jericho, NY, with 53 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
Two Jericho Plaza, Jericho, NY, 11753
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Morgan Stanley
August 2020 - Present · 6 yrs 1 mo
Morgan StanleyBroker
August 2020 - Present · 6 yrs 1 mo
Previous Registrations
Wells Fargo Clearing Services, LLC
July 2003 - August 2020 · 17 yrs 1 mo
Wells Fargo Clearing Services, LLCBroker
July 2003 - August 2020 · 17 yrs 1 mo
Prudential Securities Incorporated
October 1991 - July 2003 · 11 yrs 9 mos
Prudential Securities IncorporatedBroker
October 1991 - July 2003 · 11 yrs 9 mos
Painewebber IncorporatedBroker
July 1988 - October 1991 · 3 yrs 3 mos
Cs First Boston CorporationBroker
June 1986 - July 1988 · 2 yrs 1 mo
Cowen & CO.Broker
September 1984 - July 1986 · 1 yr 10 mos
Becker Paribas IncorporatedBroker
July 1978 - October 1984 · 6 yrs 3 mos
Becker Securities IncorporatedBroker
December 1974 - July 1978 · 3 yrs 7 mos
A. G. Becker & CO., IncorporatedBroker
January 1973 - November 1975 · 2 yrs 10 mos
State Registrations21 states
ARCACOCTDCDEFLGAILMAMEMINHNJNMNVNYPARITNVA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.